Statutes, Regulations and Forms
State Statutes
Edgar and SEC Filings
Federal Agencies, Organizations and Associations
Litigation and Arbitration
Current Awareness Sources
Stock Exchanges

Statutes, Regulations and Forms

Forms from the S.E.C.
http://www.sec.gov/edgar.shtml
The S.E.C. provides a description and complete list of forms used for filing with their agency.

Securities Lawyers Desk Book (from the University of Cincinnati Center for Corporate Law)
http://www.law.uc.edu/CCL/index.html
Up-to-date source for the full text of the Securities Act of 1933, Securities Exchange Act of 1934, the Investment Company Act of 1940 and the rules and forms promulgated under each of those acts. They also reproduce the texts of Regulations M, ATS, S-K, S-B, S-X and S-T.

Title 17, Code of Federal Regulations
http://www.law.cornell.edu/cfr/
Regulations for securities laws are found in Title 17 of the C.F.R., Commodity and Securities Exchanges. This link is to the LII web site at Cornell University Law School which is easier to use than the GPO web site. Note that LII links back out to the GPO. http://www.law.cornell.edu/cfr/

United States Code, Title 15 (via Legal Information Institute)
http://www4.law.cornell.edu/uscode/15
This site to the U.S. Code is easier to search than the GPO web site. Similar to the GPO, this version of the Code is slightly dated. Please check the update link on the web page to learn more about updating the USC.

State Statutes

N.Y. Consolidated Law via Findlaw
http://caselaw.lp.findlaw.com/nycodes/index.html
This meta-site for legal information provides a search mechanism to the N.Y. laws which may make it easier to search than the NYS Assembly Web site. Findlaw also provides access to the laws of all the fifty states.

New York State Laws
http://public.leginfo.state.ny.us/menugetf.cgi?COMMONQUERY=LAWS
Consolidated laws of the State of New York are linked here by Article, or through a search feature. (Wait a few seconds for the menu to load.)

Uniform Securities Act
http://www.law.upenn.edu/bll/ulc/ulc.htm#securities
National Conference of Commissioners on Uniform State Laws provides access to supporting documentation and the latest version of the Uniform Securities Act.

Edgar and SEC Filings

EDGAR database via the SEC
http://www.sec.gov/edgar.shtml
The Securities and Exchange Commission Edgar site can be searched in a variety of ways. Consult the HELP screens for sample searches. There is other useful information at this site such as the EDGAR Filing Manual and the form definitions. Filing made to EDGAR are posted here at least 24 hours after they are filed.

EDGARScan
http://edgarscan.pwcglobal.com/servlets/edgarscan
This free interface offered by PriceWaterhouseCoopers provides links for automatic retrieval of IPOs sorted by industry, company and date. This site focuses on 10K and 10Q filings which contain key financial documents. This database serves as an interface for EDGAR and might be easier to manipulate than the SEC interface to EDGAR.

Federal Agencies, Organizations and Associations

Bond Market Association
http://www.bondmarkets.com
This web site is an excellent source for information relating to the bond market. It covers regulatory matters, pricing, news releases, and a terrific selection of annotated links to other sites.

Commodities Futures Trading Commission
http://www.cftc.gov/cftc/cftchome.htm
The CFTC web site contains press releases, reports and publications such as commodity investing facts and the CFTC Quarterly Performance Review. You can also search their Exemptive, No-Action and Interpretative Letters from 1995 to the present, and their Opinions and Orders from 1997. The site also has a section for the public on how to file a complaint.

Federal Reserve Board
http://www.federalreserve.gov/
The FRB site lists the daily interest rates for the U.S. Treasure, money market and capital markets instruments. You can also find Release 15, Selected Interest Rates on the site.

Investment Company Institute
http://www.ici.org/
The ICI represents its members and their shareholders in matters of investment company/mutual fund legislation, regulation, taxation, public information, economic and policy research, business operations, and statistics. Their Web site contains significant information related to these efforts. Their statistical and financial information is extensive.

Municipal Securities Rulemaking Board
http://www.msrb.org/msrb1/
The MSRB makes rules regulating dealers who deal in municipal bonds, municipal notes, and other municipal securities. Their Web Site contains their rules, reports, forms, professional qualifications, and information for general public on how and where to file complaints against brokers.

National Association of Securities Dealers
http://www.nasd.com/default.asp
The NASD is the largest securities-industry self-regulatory organization in the United States. Through its subsidiaries, NASD Regulation, Inc., and The Nasdaq Stock Market, the NASD develops rules and regulations, conducts regulatory reviews of members' business activities, disciplines violators, and designs, operates, and regulates securities markets and services all for the ultimate benefit and protection of the investor. Its Web site contains current and historical material related to these charges, and links to all of their enterprises worldwide. It also has an electronic version of the NASD Manual.

North American Securities Administrator Association
http://www.nasaa.org/home/index.cfm
NASAA is a voluntary organization devoted to investor protection. Its members consist of securities professionals throughout North America. This site contains information on investment and raising capital for individuals and businesses. Blue Sky practitioners will find guidelines, proposals and forms relevant to their specialty. Prospective broker-dealers and investment advisors will find information on the Series 63 and 65 exams.

Securities and Exchange Commission
http://www.sec.gov/
The SEC maintains an excellent web site to obtain the text of SEC studies, releases, regulations, legal briefs, speeches, testimony, the SEC News Digest and general information about investing. This Web site also provides a special section for small business issuers with information and publications important to these types of entities.

Securities Industry Association
http://www.sia.com/
The SIA web site is aimed at keeping its core constituency informed about the securities industry. Of interest to the lawyer are their links to library briefs, comment letters, exemption request, and regulatory updates.

Securities Investor Protection Corporation
http://www.sipc.org/
SIPC protects customers against losses caused by the financial failure of broker-dealers registered with the United States Securities and Exchange Commission. At their web site you will find publications of SIPC, rules governing the operations of their members, and information on current and past liquidations.

Litigation and Arbitration

American Arbitration Association
http://www.adr.org/index2.1.jsp
This Association focuses on several areas of arbitration, including securities law. You can find their rules and procedures, roster of neutrals, publications, and statutes at their Web site.

NASD Code of Arbitration
http://www.nasd.com/web/idcplg?IdcService=SS_GET_PAGE&nodeId=537
This is an electronic version of the Code of Arbitration as printed in the NASD Manual. Also available in PDF format on this page.

Securities Class Action Clearinghouse
http://securities.stanford.edu/
This Web site, maintained by Robert Crown Law Library at Stanford University Law School, offers investors, the judiciary, policymakers, and the media a powerful new research tool that provides a deep and careful look into the workings of securities fraud, class action litigation. You will find digitized copies of complaints, briefs, pleadings, settlement documents, and opinions for securities class actions stemming from Rule 10b-5 on this web site. Documentation begins in late 1995 to the present. You can register for free email alerts concerning these actions on this site.

Current Awareness Sources

10b-5 Daily
Reports on securities class action litigation.

BNA Securities Regulation & Law Report
BNA Securities Regulation and Law Report alerts you to federal and state developments in the regulation of securities and futures trading and accounting, with objective coverage of the Securities and Exchange Commission, Commodities Futures Trading Commission, industry, courts, and Congress. It is ?published? weekly except the weeks following Labor Day, Thanksgiving, and Christmas. Coverage in this database begin on February 2, 1996. You must be using a workstation connected to the BLS network in order to access this product.

Corporate Governance and Leadership Blog
Commentary on corporate governance issues.

IPO Express
http://ipoportal.edgar-online.com/ipo/home.asp
Find out what companies are making, or will be making, an initial public offering. Search by company or underwriter name, ticker symbol, geographic location and descriptive words.

SEC news from Google News
Google News gathers stories from more than 4,500 news sources in English worldwide, and automatically arranges them to present the most relevant news first. Topics are updated every 15 minutes, so you're likely to see new stories each time you check the page.

Securities Litigation Watch
Focuses on securities litigation and enforcment developments

Stock Exchanges

American Stock Exchange
http://www.amex.com/

Chicago Board of Options
http://www.cboe.com/Home/Default.asp

Chicago Board of Trade
http://www.cbot.com/

Chicago Stock Exchange
http://www.chx.com/

NASDAQ
http://www.nasdaq.com/

New York Mercantile Exchange
http://www.nymex.com/index.aspx

New York Stock Exchange
http://www.nyse.com/

Pacific Stock Exchange
http://www.pacificex.com/

Philadelphia Stock Exchange
http://www.phlx.com/exchange/

Yahoo Directory of Futures and Options Exchanges
http://dir.yahoo.com/Business_and_Economy/Finance_and_Investment/Futures_and_Options/Exchanges/